Violation Tracker Industry Summary Page

Industry: 
financial services
Penalty Total since 2000: 
$330,904,834,105
Number of Records: 
6,093
Note: 
The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$82,737,699,939214
JPMorgan Chase$35,744,240,670158
Citigroup$25,450,155,764122
Wells Fargo$21,340,036,745181
Deutsche Bank$18,156,533,87859
UBS$16,792,800,91083
Goldman Sachs$16,365,468,98744
Royal Bank of Scotland$13,455,904,00027
BNP Paribas$12,132,582,95017
Credit Suisse$10,410,557,62632


Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Companysort icon Parent Primary Offense Type Year Agency Penalty Amount
State Farm Fire & Casualty Insurance Co. and State Farm Mutual Automobile Insurance Co. State Farm Insurance insurance violation 2016 DE-INS $28,000
State Farm Fire & Casualty Company and State Farm Mutual Auto Insurance Co. State Farm Insurance insurance violation 2015 VT-FIN $29,750
State Farm Fire & Casualty Company and State Farm Mutual Auto Insurance Co. State Farm Insurance insurance violation 2019 VT-FIN $265,000
State Farm Fire & Casualty Company State Farm Insurance insurance violation 2012 WA-INS $50,000
State Farm Fire & Casualty Company State Farm Insurance insurance violation 2015 WA-INS $30,000
State Farm Fire & Casualty Company State Farm Insurance insurance violation 2017 WA-INS $10,000
State Farm Fire & Casualty Company State Farm Insurance insurance violation 2019 WA-INS $20,000
State Farm Fire & Casualty Co. and State Farm Mutual Automobile Insurance Co. State Farm Insurance insurance violation 2018 DE-INS $24,000
State Farm Fire & Casualty Co. State Farm Insurance insurance violation 2012 DE-INS $150,000
State Farm Fire & Casualty Co. State Farm Insurance insurance violation 2015 MO-INS $85,750
State Farm State Farm Insurance wage and hour violation 2013 private lawsuit-federal $5,000,000
State Farm State Farm Insurance wage and hour violation 2005 private lawsuit-state $135,000,000
State Farm State Farm Insurance consumer protection violation 2008 MS-AG $74,000,000
State Farm State Farm Insurance consumer protection violation 2000 TX-AG $3,100,000
State Farm State Farm Insurance insurance violation 2017 CA-INS $13,335,701
Standard Life and Accident Insurance Company American National Insurance insurance violation 2015 NE-DOI $5,000
Standard Life & Accident Insurance Company American National Insurance insurance violation 2016 SD-INS $10,000
Standard Insurance Company Meiji Yasuda Life Insurance employment discrimination 2011 OFCCP $18,505
Standard Insurance Company Meiji Yasuda Life Insurance insurance violation 2016 MULTI-AG $277,000
Standard Insurance Company Meiji Yasuda Life Insurance insurance violation 2011 OR-FIN $15,000
Standard Insurance Co. Meiji Yasuda Life Insurance insurance violation 2007 MO-INS $9,300
STANDARD GUARANTY INSURANCE COMPANY Assurant insurance violation 2001 FL-OFR $6,000
STANDARD GUARANTY INSURANCE CO Assurant insurance violation 2006 VA-INS $45,000
Standard Fire Insurance Company Travelers insurance violation 2018 OR-FIN $71,200
Standard Fire Insurance Company Travelers insurance violation 2000 SC-INS $10,000
Standard Fire Insurance Company Travelers insurance violation 2010 TX-INS $8,000
Standard Fire Insurance Company Travelers insurance violation 2013 TX-INS $5,000
Standard Fire Insurance Company Travelers insurance violation 2019 TX-INS $20,000
Standard Fire Insurance Co. et al. Travelers insurance violation 2016 MD-INS $7,500
Standard Fire Insurance Co. Travelers insurance violation 2018 KS-INS $7,500
Standard Fire Insurance Co. Travelers insurance violation 2015 MO-INS $89,000
STANDARD CHARTERED PLC Standard Chartered banking violation 2012 FED $100,000,000
Standard Chartered plc Standard Chartered banking violation 2019 FED $164,000,000
Standard Chartered Bank (Switzerland) SA, en liquidation Standard Chartered tax violations 2015 DOJ_TAX $6,337,000
Standard Chartered Bank Standard Chartered economic sanction violation 2012 DOJ_CRIMINAL $227,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2012 OFAC (*) $132,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2019 DOJ_CRIMINAL $292,210,160
Standard Chartered Bank Standard Chartered economic sanction violation 2019 OFAC (*) $657,040,033
Standard Chartered Bank Standard Chartered economic sanction violation 2019 NY-MANDA $292,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2012 NY-MANDA (*) $113,500,000
Standard Chartered Bank Standard Chartered anti-money-laundering deficiencies 2012 NY-DFS $340,000,000
Standard Chartered Bank Standard Chartered anti-money-laundering deficiencies 2014 NY-DFS $300,000,000
Standard Chartered Bank Standard Chartered foreign exchange market manipulation 2019 NY-DFS $40,000,000
Standard Chartered Bank Standard Chartered economic sanction violation 2019 NY-DFS $180,000,000
St. Paul Travelers Companies Inc. Travelers investor protection violation 2005 NM-AG $67,500,000
St. Paul Travelers Travelers price-fixing or anti-competitive practices 2006 MULTI-AG $77,000,000
St. Paul Fire & Marine Insurance Co. Travelers insurance violation 2007 FL-OFR $23,750
St. Paul Fire & Marine Insurance Co. Travelers insurance violation 2006 KS-INS $5,000
St. Paul Fire & Marine Insurance Co. Travelers insurance violation 2005 WI-INS $20,000
St Paul Travelers Companies Inc. Travelers benefit plan administrator violation 2007 private lawsuit-federal $4,450,000
Springstone Financial, LLC LendingClub Corp. consumer protection violation 2015 CFPB $700,000
Spear, Leeds & Kellogg, L.P. Goldman Sachs investor protection violation 2003 SEC $450,000
Spear, Leeds & Kellogg Specialists LLC Goldman Sachs investor protection violation 2004 SEC $45,272,478
Sovereign Bank N.A. Banco Santander banking violation 2013 OCC $16,086,180
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2005 SEC $10,000,000
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2010 SEC $470,147
Southwest Securities, Inc. Hilltop Holdings investor protection violation 2012 IL-SEC $7,500
Sorrento Pacific Financial, LLC Atria Wealth Solutions investor protection violation 2019 SEC $49,162
Solium Financial Services, LLC Morgan Stanley investor protection violation 2020 IA-INS $10,147
Solium Financial Services, LLC Morgan Stanley investor protection violation 2020 ME-SEC $5,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 AK-DBS $10,527
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 AL-SEC $18,874
Solium Financial Services LLC Morgan Stanley investor protection violation 2019 AR-SEC $5,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 CA-DFPI $52,047
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 CT-SEC $51,136
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 GA-SEC $22,104
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 IN-SEC $15,575
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 MO-SEC $9,130
Solium Financial Services LLC Morgan Stanley consumer protection violation 2019 NE-DBF $14,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 NH-BSR $90,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 OK-SEC $9,968
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 OR-FIN $10,599
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 TN-SEC $12,994
Solium Financial Services LLC Morgan Stanley investor protection violation 2019 VA-SEC $10,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 VT-FIN $6,900
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 WA-FIN $33,753
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 FL-OFR $79,045
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 PA-BKG $52,372
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 SD-SEC $5,750
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 TX-SEC $46,073
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 CO-SEC $69,338
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 IL-SEC $11,385
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 KY-FIN $5,465
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 MS-SEC $6,000
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 MT-SEC $14,700
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 NM-SEC $6,500
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 RI-FIN $6,500
Solium Financial Services LLC Morgan Stanley investor protection violation 2020 SC-SEC $28,007
Societe Generale SA Societe Generale economic sanction violation 2018 NY-DFS $420,000,000
Societe Generale S.A. Societe Generale toxic securities abuses 2017 USAO $50,000,000
Societe Generale S.A. Societe Generale interest rate benchmark manipulation 2018 CFTC $475,000,000
Societe Generale S.A. Societe Generale Foreign Corrupt Practices Act 2018 DOJ_CRIMINAL $860,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 FED $81,300,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 USAO $717,200,000
Societe Generale S.A. Societe Generale economic sanction violation 2018 OFAC $53,966,916
Societe Generale Private Banking (Suisse) SA Societe Generale tax violations 2015 DOJ_TAX $17,807,000
Societe Generale Private Banking (Lugano-Svizzera) Societe Generale tax violations 2015 DOJ_TAX $1,363,000
Societe Generale International Limited Societe Generale investor protection violation 2019 CFTC $2,500,000
Societe Generale Financial Corporation Societe Generale banking violation 2020 CA-DFPI $10,250
Societe Generale Societe Generale toxic securities abuses 2014 FHFA $122,000,000
Societe Generale Societe Generale economic sanction violation 2003 OFAC $6,600
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)